James Daffin, financial advisor Cincinnati OH
93 score

James Daffin

CRD Number: 5594176
Current Firm: Northwestern Mutual Investment Services,llc

James Daffin (CRD# 5594176) is an Investment Advisor Representative working at Northwestern Mutual Investment Services,llc in Cincinnati, OH and has over 7 years of experience in the finance industry.

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Company Name Location Dates Years
Northwestern Mutual Wealth Management Company Milwaukee, WI Jan 2016 - Current < 1
Northwestern Mutual Investment Services Cincinnati, OH Oct 2008 - Current 8
Northwestern Mutual Life Insurance Company Milwaukee, WI Sep 2008 - Current 8
Unemployed Cincinnati, OH May 2008 - Sep 2008 < 1
Miami University Oxford, OH Aug 2004 - May 2008 3
University Directories Chapel Hill, NC May 2007 - Aug 2007 < 1
Hicon, Inc. Cincinnati, OH May 2005 - Aug 2006 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 2009
S66 NASAA Uniform Combined State Law Examination Oct 2011
Contact Info for James H. Daffin
Phone Number: 866-664-7737
Registered State(s):
  • OH
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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